Peter Yu - Jan 3, 2024 Form 4 Insider Report for AlTi Global, Inc. (ALTI)

Role
Director, 10%+ Owner
Signature
/s/ Adam Namoury, attorney in fact
Stock symbol
ALTI
Transactions as of
Jan 3, 2024
Transactions value $
$0
Form type
4
Date filed
1/5/2024, 04:01 PM
Previous filing
Jun 23, 2023
Next filing
Mar 5, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ALTI Class A Common Stock Options Exercise +13.1K 13.1K Jan 3, 2024 Direct F3
holding ALTI Class A Common Stock 478K Jan 3, 2024 See Footnote F1
holding ALTI Class A Common Stock 6.04M Jan 3, 2024 See Footnote F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction ALTI Restricted Stock Units Options Exercise $0 -13.1K -100% $0.00* 0 Jan 3, 2024 Class A Common Stock 13.1K Direct F3, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents securities held by Pangaea Three, LP. Pangaea Three-B, LP is controlled by Peter Yu. Consequently, Mr. Yu may be deemed to share voting and dispositive control over the securities held by Pangaea Three-B, LP, and thus to share beneficial ownership of such securities. Mr. Yu disclaims beneficial ownership of the securities held by Pangaea Three-B, LP, except to the extent of his pecuniary interest therein.
F2 Represents securities held by CGC Sponsor LLC (the "Sponsor"). Pangaea Three-B, LP is the sole member of the Sponsor, and is controlled by Peter Yu. Consequently, each of Pangaea Three-B, LP and Mr. Yu may be deemed to share voting and dispositive control over the securities held by the Sponsor, and thus to share beneficial ownership of such securities. Mr. Yu disclaims beneficial ownership of the securities held by the Sponsor, except to the extent of his pecuniary interest therein.
F3 Restricted stock units converted into Class A Common Stock on a one-to-one basis.
F4 On May 31, 2023, Peter Yu was granted 13,111 restricted stock units that vested in whole on January 3, 2024.